DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

J••••••• A• O••••

U•• F•••••••• S••••••• I•••wirehouseKnoxville, Tndual registrantIAPD 3128345

Feed of 09/14/2026

Also filed as J••••••• Andrew O••••

At current firm

4 y

since Jan 25, 2022

In the industry

27 y

since Oct 15, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U•• F•••••••• S••••••• I••• wirehouse current
since Jan 25, 2022 · Knoxville, Tn
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 17, 2014 to Jan 27, 2022 · Knoxville, Tn
L•••••• W••••• M••••••••• L•• independent RIA
Aug 12, 2013 to May 15, 2014 · Maryville, Tn
C••••••••• F•••••••• N•••••• national BD
Jan 16, 2009 to Sep 11, 2013 · Maryville, Tn
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 9, 2008 to Jan 6, 2009 · Knoxville, Tn
L•••••• S••••••••• L•• unclassified
Oct 26, 2004 to Dec 12, 2005 · Knoxville, Tn
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 27, 2004 to Nov 2, 2004 · Knoxville, Tn

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Jan 27, 2022, registered Jan 25, 2022 (-2 days) · Wirehouse to wirehouse · moved with a team
L•••••• W••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 15, 2014, registered Jun 17, 2014 (33 days) · Other
C••••••••• F•••••••• N•••••• to L•••••• W••••• M••••••••• L••
left Sep 11, 2013, registered Aug 12, 2013 (-30 days) · Affiliated broker-dealer or bank to a newly registered adviser
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• F•••••••• N••••••
left Jan 6, 2009, registered Jan 16, 2009 (10 days) · Wirehouse to affiliated broker-dealer or bank
L•••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 12, 2005, registered Apr 9, 2008 (849 days) · Other
A••••••••• F•••••••• S•••••••• L•• to L•••••• S••••••••• L••
left Nov 2, 2004, registered Oct 26, 2004 (-7 days) · Other

Signals

J••••••• A• O•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for U•• F•••••••• S••••••• I••• (registered 2022-01-25)
Jan 27, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wirehousederived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address